Search for: "Financial Industry Regulatory Authority"
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3 Dec 2015, 7:45 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action (FINRA No. 2015045289901) against broker Jeffrey Snyder (Snyder) resulting a permanent bar from the securities industry. [read post]
3 Aug 2007, 4:41 pm
The New Financial Industry Regulatory Authority (FINRA) has fine Morgan Stanley $1.5 million and ordered restitution of $4.6 million for overcharging clients on bonds. [read post]
10 May 2012, 8:30 am
On April 25, Financial Industry Regulatory Authority (“FINRA”) expelled broker-dealer Pinnacle Partners Financial Corp. and its president, Brian Alfaro, from membership after they failed to respond to allegations that they made fraudulent sales involving oil and gas private placements and unregistered securities in violation of Section 10(b) of the Securities Exchange Act of 1934. [read post]
16 Aug 2017, 11:45 am
Koehler According to the Financial Industry Regulatory Authority, on June 29, 2017, Mark C. [read post]
14 Mar 2018, 10:18 am
Investigating Potential Claims Involving Fred Brisker According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Fred Brisker of Portsmouth, Ohio who was terminated from Parkland Securities earlier this month. [read post]
8 Jun 2021, 1:45 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Ricardo Turlan from the securities industry for two months. [read post]
25 Oct 2022, 8:05 pm
Customers Accuse New York Financial Advisor of Broker Misconduct In the Financial Industry Regulatory Authority’s (FINRA’s) first disciplinary action related to Regulation Best Interest, the SRO has imposed a $5K fine and six-month suspension against former Network 1 Financial Securities financial advisor Charles Vincent Malico in Huntington Station, New York. [read post]
29 Jul 2022, 12:28 pm
FINRA Bars Joseph Ambrosole after Allegations of Unsuitable and Excessive Trades According to the Financial Industry Regulatory Authority (FINRA) on July 28, 2022, the regulator reportedly barred Joseph A. [read post]
26 Jan 2021, 8:49 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Tyler Dean Delahunt from the securities industry. [read post]
2 Feb 2011, 9:30 am
Yesterday, the Securities and Exchange Commission (SEC) approved a Financial Industry Regulatory Authority (FINRA) plan to provide investor-claimants with an all-public arbitration panel option. [read post]
6 Apr 2015, 6:00 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Salvatore Gioe (Gioe) has been the subject of at least 11 customer complaints, one judgment and lien of over $197,000, and one regulatory action over the course of his career. [read post]
9 Oct 2009, 8:03 am
In a letter dated Sept. 1, 2009, the SEC staff responded to a Financial Industry Regulatory Authority (FINRA) request for guidance on the application of the financial responsibility rules to broker-dealer using LLC series. [read post]
8 Nov 2007, 9:19 am
Rule 2821 by the Financial Industry Regulatory Authority Inc. was finally approved by the Securities and Exchange Commission on September 7. [read post]
23 Jul 2016, 4:07 am
The securities lawyers of Gana LLP are investigating the regulatory complaint filed by The Financial Industry Regulatory Authority (FINRA) against broker Thomas Schober (Schober). [read post]
5 May 2015, 7:02 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Paul Godlewski (Godlewski) concerning allegations Godlewski refused cooperate with requests made by FINRA in connection with an investigation into possible outside business activities. [read post]
22 Jul 2011, 11:39 am
They must also be aware of the special risks and compliance requirements of industry self-regulatory standards, such as the Payment Card Industry Data Security Standard (PCI DSS), and Financial Industry Regulatory Authority (FINRA) requirements, the guidance emphasized. [read post]
4 Feb 2019, 7:07 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Greenblatt’s customer complaints allege that Aziz made unsuitable recommendations in a variety of investments. [read post]
8 Nov 2017, 4:47 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Christopher Parr (Parr), in October 2017, was under investigation by FINRA based on a preliminary determination that Parr’s conduct allegedly violated FINRA Rules 3240, 3280, and 2010. [read post]
14 Oct 2015, 7:51 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Daren Dorval (Dorval) has been the subject of at least 6 customer complaints, 1 regulatory matter, and one criminal matter over the course of his career. [read post]
1 May 2019, 12:16 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Meier’s customer complaints allege that Meier made was negligent, breached his fiduciary duty, and made unsuitable investments in penny stocks and low priced securities. [read post]
